Treliant, an essential consulting partner to the global financial services industry, has named Andrew Surgan as Managing Director, Regulatory Compliance, Mortgage, and Operations Solutions. His appointment reflects Treliant’s commitment to helping U.S. and global broker dealers, investment advisers, and asset management clients mitigate regulatory risk and streamline compliance.
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Andrew has over 30 years of experience in regulatory compliance including 23 years in the broker dealer and investment banking sector. Most recently, he was a Managing Director at Grant Thornton in New York City, leading the firm’s regulatory compliance practice focused on this market. Previously, he has held the role of Chief Compliance Officer for several U.S.-based and global broker dealers, among other financial services firms including Mitsubishi UFJ Financial Group, RBC Capital Markets, The Bank of New York, and Citigroup. Throughout his career, Andrew has interacted with regulators such as the Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), and Commodity Futures Trading Commission (CFTC), helping firms remediate regulatory findings.
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“In today’s uncertain environment, members of the investment community need to be able to rely on experts who can not only identify potential risks but also provide efficient and practical solutions,” said Brendan Mulvey, Senior Managing Director, Regulatory Compliance, Mortgage, and Operational and Enterprise Risk Management Solutions. “Andrew’s deep understanding of the industry and regulatory landscapes combined with his proven track record of helping regulated entities navigate compliance and operational challenges will be invaluable to our clients.”
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“With efficient and innovative approaches, broker dealers and investment advisers can master the regulatory complexity and change all around them, optimize their operations, and leverage compliance as a strategic advantage,” Andrew said. “I look forward to equipping our clients to achieve both compliance and operational excellence.”
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Source: prnewswire
